Jason N. Rhodes
Professional summary
Jason Nicholas Rhodes, who also goes by Jason Nick Rhodes, Nick Rhodes, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Phoenix, Arizona and CETERA INVESTMENT SERVICES LLC located in Phoenix, Arizona.
Jason is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Jason has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 51, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Jason Nicholas Rhodes's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 28, 2022 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1702 E. Highland Ave Suite 204, Phoenix, AZ 85016November 21, 2022 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 1702 E. Highland Ave Suite 204, Phoenix, AZ 85016November 6, 2020 - November 22, 2022
OSAIC WEALTH, INC.
October 30, 2020 - November 22, 2022
OSAIC WEALTH, INC.
October 30, 2018 - November 2, 2020
HORNOR, TOWNSEND & KENT, LLC
August 27, 2018 - November 2, 2020
HORNOR, TOWNSEND & KENT, LLC
March 19, 2013 - August 8, 2018
FORESTERS ADVISORY SERVICES, LLC
July 26, 2004 - August 8, 2018
FORESTERS FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/21/2022)
(11/28/2022)
(11/21/2022)
(11/21/2022)
(2/16/2023)
(2/15/2023)
(2/15/2023)
(2/16/2023)
(11/21/2022)
(2/15/2023)
(2/15/2023)
(2/15/2023)
(1/9/2025)
(11/21/2022)
(2/15/2023)
(2/15/2023)
(2/15/2023)
(2/15/2023)
(2/15/2023)
(2/16/2023)
(2/15/2023)
(2/16/2023)
(2/15/2023)
(2/15/2023)
(2/16/2023)
(2/15/2023)
(2/15/2023)
(2/16/2023)
(11/21/2022)
(2/15/2023)
(11/21/2022)
(2/15/2023)
(3/6/2023)
(2/15/2023)
(2/16/2023)
(11/22/2022)
(2/15/2023)
(2/15/2023)
Exams
FINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
